Policy Learning and its Limits in the 1. Institutional Change and - - PowerPoint PPT Presentation

SLIDE 1

Policy Learning and its Limits in the Open Method of Co-ordination Open Method of Co ordination

Gabriele Bischoff, Martin Heidenreich and Sascha Zirra and Sascha Zirra S i L i d N S i l G Seminar on Learning and New Social Governance, 30-31 August 2007, Brussels

Contents

1. Institutional Change and Policy Learning 2. The Impact of the OMC on the German Labour Market Reforms 3. How to Improve Mutual Learning. Initiatives During the German Presidency 4. Conclusion

The Achilles Heel of the OMC: Its Impact on The Achilles Heel of the OMC: Its Impact on the Domestic Level

1. Can national employment and social regimes be influenced at all by transnational organisations? 2. How are external interventions in domestic institutions possible? 3. How did the EES intervene in German labour market reforms?

• 1. Institutional Change and Policy Learning

The Debate on the OMC a) OMC as learning device: OMC as soft, deliberative, „post- l t l ti “ f ilit ti l i d t regulatory regulation“ facilitating learning due to benchmarking, „naming and shaming“, „peer pressure“ b) OMC-sceptical view: OMC as soft law; no sanctions no b) OMC sceptical view: OMC as soft law; no sanctions, no „shadow of the law” => fundamental asymmetry between positive and negative integration (Scharpf) => OMC as „red h i ” (Id /K l ) herring” (Idema/Keleman) c) OMC as intervention: Empirical limits and difficulties to attain the common goals; implementation difficulties; “long attain the common goals; implementation difficulties; long and vulnerable implementation chain“

SLIDE 2

a) Neoinstitutional and learning theories a) Neoinstitutional and learning theories

• Neo-institutional approaches: Social systems adjust by force,

imitation or normative pressure to demands of institutional p environment => isomorphism (“a constraining process that forces one unit in a population to resemble other units”)

• Globalizing impact on nation states: “the rise of global
• Globalizing impact on nation-states: the rise of global

models of nationally organized progress and justice“ (Meyer), spread by transnational organisations, professions and social movements which expose the nation state to the and social movements, which expose the nation-state to the pressure of global models

• OMC as learning: Learning as acquisition of new interests

d f l f d 'b ' and preferences. „contextual, fuzzy and 'bottom-up' benchmarking, as in the EES is more effective in influencing the operating conditions of policies, especially when combined with measurable indicators and quantitative targets, and efficient monitoring agencies.“ (Hemerijck/Visser) ( j )

b) Labour market and welfare regimes as relative closed systems

• „Institutions are socially constructed, routine-reproduced (ceteris

ib ) l h l i fi paribus), program or rule systems. They operate as relative fixtures

• f constraining environments and are accompanied by taken-for-

granted accounts.“ (Jepperson 1991)

• Institutional complementarity: „One set of institutions is

complementary to another when its presence raises the returns available from the other” (Hall/Gingerich 2002)

• Path dependencies: „historical sequences in which contingent events

set into motion institutional patterns or event chains that have deterministic properties“ (Mahoney 2000) ⇒ Punctuated equilibrium model of institutional change: Distinction between long periods of institutional stasis periodically interrupted by some sort of exogenous shock that opens things up, allowing for l di l i i (S k/Th l 2005) more or less radical reorganization (Streeck/Thelen 2005) ⇒ Minimal impact of the OMC on the change of domestic employment and welfare reforms

c) Institutional change as gradual process c) Institutional change as gradual process

• Change not as a sequence of different equilibria but as a continuous

process process

• Institutional orders are not consistent, coherent, consensually-shared, but

a provisional compromise between divergent, potentially conflicting i t t d ti interests and perceptions.

• Institutional regimes are hybrid connections of different logics and

regulatory principles

• Institutional change by the mobilisation of the internal heterogeneity of

institutional orders and hitherto peripheral or marginal interests, actors and rules

• Five types of gradual change: Displacement, layering, drift, conversion,

exhaustion

• Institutions as arenas for social action, for bargaining, power and

Institutions as arenas for social action, for bargaining, power and exchange relations => External factors may shape internal distribution of power, of interests and

• f ideas
• f ideas

Structural coupling between the European and national fields

How can European policies shape national discourses, identities and li i ? S l li C ti f t ti f f “i it ti ” policies? => Structural coupling: Creation of systematic forms of “irritation” between two relatively autonomous social fields (“Europeanization”)

• Strategic dimension (rational calculation of the consequences of action):

Financial incentives: structural funds, new programmes for employment and social solidarity; Power: Enhancement of the Member States’ ownership of the reform processes: “political ownership” at the highest levels (Mr./Ms. Lisbon)

• Normative dimension (logic of appropriateness): No legal obligations;

recognition of the limited role of sanctions recognition of the limited role of sanctions

• Cognitive dimension (patterns of interpretation and perception): Mutual

learning limited to high-ranking national and European officials; change of policy outlooks and analyses; provision of convincing examples; policy outlooks and analyses; provision of convincing examples; bureaucratically-administered processes of participation; only limited involvement of national parliaments, social partners, civil society

SLIDE 3

Structural coupling between European and national fields

B ti

European council Committees (EMCO SPC ) Commission

Bureaucratic, consensus-oriented, professional coordination

Committees (EMCO, SPC …)

Impact at the national Normative, cognitive and strategic forms of Impact at the national level: Learning, visions, participation, money and power

Different ministries Nation-state 2 Different ministries Nation-state 1

g structural ´coupling

Regions, social partners, civil society… Regions, social partners, civil society…

The influence of the OMC on domestic reform policies. E i i l l Empirical results

1. Learning with the OMC (cognitive dimension)

• “a learning process for a limited community of labour market technicians and

t ” (C /G ld) experts.” (Casey/Gold)

• „limited evidence of direct policy transfer” (Zeitlin)
• But: reframing of national discourses

2 Financial incentives and participation (strategic dimension) 2. Financial incentives and participation (strategic dimension)

• European Social Fund: Impact not clear
• Strengthening of hitherto marginal perspectives and actors by required

involvement of regions communes social partners NGOs integrate multiple involvement of regions, communes, social partners, NGOs integrate multiple perspectives: Mainly in the field of social inclusion

3. The OMC as a challenge for existing administrative procedures and rules (normative dimension)

• New policies require new forms of administration and policy making
• The OMC „have stimulated improvements in horizontal or cross-sectoral

integration across formally separated but practically interdependent policy fields ” (Zeitlin 2005: 457)

• fields. (Zeitlin 2005: 457)
• Better interministerial coordination

=> The OMC have initiated processes of domestic institutional change in the cognitive strategic and normative dimension cognitive, strategic and normative dimension

• 2. An Example for the Possibilities and Limits of

Learning within the EES: The German Hartz Reforms

Quelle: Kemmerling, Achim and Oliver Bruttel. New Politics in German Labour Market Policy? WZB discussion

• paper. February 2005, S. 3

Normative dimension: The co-ordination of the German NAP/employment until 2004

• Employment policy is still coordinated within the confines of the

domestically evolved field of labour market policy domestically evolved field of labour-market policy

– Labour-market instead of employment policy (education, family ...) – Stability of former patterns of communication (FMEL, BA, social partners, Länder ...) – Coordination within the epistemic community of labour market experts – Consultation with actors from outside the field remains an exception. p – Three core associations of municipalities unable to provide the

• rganizational capacities for a stronger participation

– Reduction of veto positions (with the exception of social partners); no – Reduction of veto positions (with the exception of social partners); no involvement of a wider circle of actors in a broader employment strategy; lower involvement of municipalities and regions

2005 NRP D ti di ti l t th t l l l

• 2005 NRP: Domestic coordination only at the governmental level,

no involvement of NGOs and social partners (better again in 2006. But: NRP as a strategic, i.e. a governmental document) g g )

SLIDE 4

Europeanization of visions and monopolization of i l d i i ki ( il 2004) national decision making (until 2004)

EMCO EMCO

And Sub-Groups

Federal Chancellery

Mirror department for Labour Market

The Federal Chancellery keeps the Chancellor informed of current issues concerning politics in general and the work of the Federal Ministries It

European Employment

BMWA

(Federal Ministry of Federal Ministries. It prepares decisions for the Chancellor and supervises their implementation. It is also the Federal Chan- cellery's responsibility to coordinate the work of the

Traditional Strategy Employment Service d i i t ti b d

Economy and Labour)

UA IIa

Labour Market Policies Central actor in European and German Labour Market Reforms coordinate the work of the Federal Ministries. http://www.bund.de

Forum to discuss on Labour Market administrative board Social Partners G d Reforms Agenda 2010

as overarching Policy

JobAQTIV and German Länder local authorities Hartz I, II, III, IV

Single Reform Measures long intended by labour market administrators

The Europeanization of German Corporatism

• ur

Expect rising salience of

Early information and involvement

• f
• n

and Labo

Trade Unions

labour market issues, more options of political action on European level

Cooperative relationship importance ean dimensio

• nomics

et Experts

Employers Association

Expect Liberalisation of Employment Policy Expect Backup of own positions and

Cooperative relationship Early information and involvement Stress Europe

ry of Eco

abour marke

German Länder

Expect loss of autonomy, but heterogeneity viewpoints by European reform ideas; reduction of veto positions

p later information

• pposition

portance ension

al Minist

L

g y p

a e

• a o

and involvement ved little imp uropean dime

Federa

Local Authorities

few expectations, little perception of European dimension

No or little Information No Input Perceiv

• f Eu

Cognitive Dimension: Reorientation of the Labour Market Policy

• JobAQTIV law 2001 (activation qualification training investment and placement )

JobAQTIV law 2001 (activation, qualification, training, investment and placement )

– Reorientation of passive labour-market policy to a preventive and enabling policy: Better guidance on career choices for jobseekers and development of individual strategies for job placement individual strategies for job placement – Used in interviews to demonstrate the influence of the EES in Germany

• “Laws for modern services in the labour market” (Hartz-laws 2003-

2005

– Especially Hartz I and II: continuation of the JobAQTIV law. Hartz III

• rganizational reform of the German Employment Agency

– Hartz III – organizational reform of the German Employment Agency – Hartz IV (2005) – The Key Reform of the unemployment benefit system: Direct reference to EES in the summary of the law

“The necessity to develop better advisory services for young job seekers - the official-customer ratio which now is codified in the SGB II 1:75 - this is, for example, also a development which became clear in the employment policy thanks to the EU.” (Department head labour market policy, FMEL) employment policy thanks to the EU. (Department head labour market policy, FMEL)

New Frame of Reference for Domestic Discourse New Frame of Reference for Domestic Discourse

• Mainly cognitive changes as the result of the EES: Reorientation from passive to

active labour market policies p – Intensified advisory services for jobseekers and – Individual strategies for job placement M t t d l t l t b fit (ALG II) – Means tested long term unemployment benefits (ALG II) – Increased responsibility of job seekers

• But: The EES was not able to affect independently domestic institutions
• The labour-market department of the FMEL as the dominant actor

– Responsibility for the coordination of the NAP. Contact for the social partners and other actors – Represented in the relevant European committees of the EES – Involvement in all labour-market reforms: Guidelines also a means for strengthening its own position within the domestic discourse

• EES was used to influence the course of ongoing reform debates: EES relies on a

responsive domestic arena where it can be taken up by “agents of change” and actively used as a supportive argument. It is used as an argument for legitimising and supporting the intended reforms and supporting the intended reforms

SLIDE 5

An example for the limitations of labour market (instead f l t) f

• f employment) reforms
• Guidelines on lifelong learning and education

The demand to actively seek a job is closely linked with the – The demand to actively seek a job is closely linked with the requirement to train young people – Prevention of early school leaving Ed ti fi ld f di t ib t d ( f t d) ti l ⇒Education as a field of distributed (or fragmented) national competences at the national and regional level

• Job rotation (paid off time for further education, replacement by

l l d) long-term unemployed) ⇒Competence of the social partners

• Gender equality in employment

q y p y – Requires better child-care (role model: Sweden) ⇒Distributed responsibilities between the national, the regional and the municipal levels the municipal levels

• National labour market reforms react to national perceptions of

problems, discourses and power relations. Change is legitimated by reference to the EES reference to the EES

Conclusion: The impact of the EES on German labour k t f market reforms

• Greatest success

– Rethinking from “passive” to “active” labour-market policy – Rethinking from passive to active labour-market policy – Fundamental reform of the benefit system: “From Bismarck to Beveridge”

• Limitations

– No coherent, inclusive employment policy. – The EES has been recognized and incorporated predominantly within the current field of labour market policy. current field of labour market policy. – Reforms remained limited to the field of labour-market policy. Educational, family and fiscal policies were not included. C l i li i b i i ( – Complementary, supportive policies are becoming more important (e.g. childcare, family income tax, later retirement) – Best-Practice-Concepts

• “taking the pick of the bunch” failed
• Did not take complementary institutions into account

Germany - Comparing the Impact of EES and OMC/Incl. y p g p

Dimension EES OMC/Inclusion cognitive

strong medium to low

g effects

questioning existing mindsets and classical approach by all actors; Introducing new concepts gender mainstreaming

• introduction of the concept of social

inclusion at the non-state level

• development of a European comparison

framework by the NGOs

• gender mainstreaming
• entitlements and obligations for jobseekers
• obligation to enhance employability of the

PES

• individual experiences within the

government, no connection to national discussions at state level

• lifelong learning

effects on the domestic

strong with many failures of implementation adopting individual solutions perceived as b t ti f th M b St t t no need for reform seen by the government

approach/ set of instruments

best practice from other Member States to match new goals

effects on

medium St th i i t i i t i l ti low to none stronger cooperation between NGOs

governance

• Strengthening inter-ministerial cooperation,
• Strengthening evaluation and steering

capacity of the ministry

• empowering pro-reform coalition
• stronger cooperation between NGOs -

self-assessment of the government: there are enough cooperation within the government and between the state and the non state sector p g p non-state sector

3 H t I M t l L i I iti ti

• 3. How to Improve Mutual Learning. Initiatives

During the German Presidency

SLIDE 6

The former Peer Review Programme and its The former Peer Review Programme and its Limitations

• Launched in 1999 by the Commission
• Main objective: Encouragement of mutual learning,

enhanced transferability of successful policies, involvement

• f stakeholders
• Participants: Representatives from national ministries,

researchers, officials from COM, until 2005: 8-10 seminars. KOK (2003) h b f d i i d h

• KOK (2003): „the number of good practices reviewed each

year is limited and conclusions are not widely debated. More needs to be done by the EU and national authorities to needs to be done by the EU and national authorities to support the exchange of information between all stakeholders concerned.”

Constraints to Transferability

• Institutional constraints:

– Country’s legal, industrial relations, political, social security or tax systems i ht i h l if ti l t b t f d might require overhaul if a particular programme were to be transferred – Lack of the supporting infrastructure (e.g. information and resource centres for young people in the French case)

• Attitudinal constraints (e.g. social responsibility of enterprises)
• Administrative and financial constraints

e g British lifelong learning Program required a common ministry covering – e.g. British lifelong learning Program required a common ministry covering both employment and education and training – e.g. no history of in-house training or of apprenticeships in Spain

i h l l f i i i l diff i d i => High level of inertia. Little or no diffusion occurred => peer review as a learning process for a limited community of labour market technicians and experts

Source: Casey/Gold, 2005: Peer review of labour market programmes in the EU. Journal of European Public Policy.

Luxemburg Presidency 2005 Indicators and Benchmarks:

f i th t t l l i i b i ti l d i

…saw few signs, that mutual learning is being actively pursued in

a systematic way. Conclusion: context-based approach necessary. The broader institutional policy structure or intervention in which it is set may be critical to understand why it is effective. y y Developed ideas/proposals how to improve work with indicators to improve mutual learning: “Good (and bad) practices in terms of processes should be more systematically identified, especially in areas of social policy monitoring and statistical capacity building ” monitoring and statistical capacity building. (245f. in: “Taking Forward the EU Social Inclusion process”,…

EMCO: 2006 First Evaluation of Mutual Learning Program EMCO: 2006 First Evaluation of Mutual Learning Program (MLP):

• Peer Reviews (PR) as core element and well regarded,

( ) g ,

• Thematic Seminars (TS) less well regarded, proposals how to

improve TS (more focused, wider groups)

• Follow-up: still weak point, needs to be improved
• Proposed as next step: concentrate on „learning“ itself

Stocktaking of MLP: note from the contractors consortium (ÖSB/IES/BICEPS)

SLIDE 7

18 Month Program Trio-Presidency

• The three Presidencies are convinced that there is a need, in general, to improve

the process of learning from each other within the framework of the employment strategy and the OMC.

• These instruments have not been sufficiently exploited so far and their efficiency
• These instruments have not been sufficiently exploited so far and their efficiency

should be improved. The new streamlined procedure should be used to avoid a bureaucratization of the process and facilitate the interlink between experts and

• practitioners. The involvement & information of social partners and civil society

will also need to be improved will also need to be improved. German Presidency: M h b t i l t d i l li i More coherence between economic, employment and social policies

• Stronger, more binding goals
• Improve the ML within OMC
• Special role of social partners in the context of employment and social policies

1 Context of a Political Measure Needs to be Taken

• 1. Context of a Political Measure Needs to be Taken

Better into Account - Proposals

• Direct policy transfer neither possible nor useful.
• To better understand good examples, they should be placed in
• verall political context (macroeconomic policy mix, tax

policy etc).

• Tools: analytical framework, with help of core indicators

relying to overall context, experts to explain/assess specific national context national context.

(Informal Meeting of SPC: 22 /23 Mai 2007 in Erfurt: Ways how to improve ML (Informal Meeting of SPC: 22./23. Mai 2007 in Erfurt: Ways how to improve ML between MS)

2 More Process Oriented Presentations of Good

• 2. More Process Oriented Presentations of Good

Practice is Needed - Proposals

• To enlarge learning area for all actors, focus should not be

given mainly on outcomes but integrate whole process of implementation of measure and narrate successful and less successful policies. L b t diti h t i l ti

• Learn about conditions how certain solutions were

developed, exchange of experiences on obstacles, problems and compromises which led to certain outcomes and compromises which led to certain outcomes.

(Informal Meeting of SPC: 22./23. Mai 2007 in Erfurt: Ways how to improve ML ( g y p between MS)

3 Role of the Different Players in OMC has to be

• 3. Role of the Different Players in OMC has to be

Reassessed - Proposals

• More national „ownership“ and visibility. Achieved through

concrete definition of national objective and stronger problem oriented reporting. p p g

• Follow up process on European seminars, embedding results

in national policy-making debate. R l COM f d l i d f d b k

• Role COM: more focussed on analysing and feed back.

Stronger COM-input in analytical framework and context analysis when proposing seminar groups. Strengthen i i i f SP/ i i NP participation of SP/scientists, NP.

(Informal Meeting of SPC: 22./23. Mai 2007 in Erfurt: Ways how to improve ML between MS)

SLIDE 8

4 Implementation Structures on National Level -

• 4. Implementation Structures on National Level

Proposals

• Develop National „learning networks“, generating greater

sense of ownership at national level and promote action-

• riented learning cycle within national ministries.
• Exchange experiences in how to create implementing

t t i MS Q ti f i ti t l structures in MS – Questions of incentives to learn

• Exchange of civil servants on this issue

(Informal Meeting of SPC: 22./23. Mai 2007 in Erfurt: Ways how to improve ML between MS)

• 5. Linkage with PROGRESS has to be ensured
• PROGESS: support exchanges on policies and processes,

good practice and innovative approaches, promote ML. Cl l li k th d i f l PROGRESS k

• Closely link the design of annual PROGRESS-work

programme with work of SPC to ensure consistency and complementarities between work programme SPC and p p g PROGRESS programme

(Informal Meeting of SPC: 22./23. Mai 2007 in Erfurt: Ways how to improve ML between MS)

Answers: To improve mutual learning, would you consider it useful to have a more context- and process-

• riented presentation of good examples?
• Support of principle that ML would be enhanced by more

t t d i t d h i d th context- and process-oriented approach – more in-depth analysis and evaluation of good practice

• Context information – identifying casual connections

Context information identifying casual connections between policy and outcomes

• Describing agreement and implementation process –

background information on organization of policy-making process

• PR evaluated very positively, but in-depth examinations at PR

should be re-evaluated within SPC

• Advantage of smaller seminars with cluster of interested MS &

focus on particular policy areas focus on particular policy areas

• Greater role in initiating and choosing themes for discussion/ room

for ad-hoc seminars related to current issues of national reform agenda instead of just following SPC work programme

• MS information on obstacles and policies that do not work is as

f l d i “ useful as „good practices“

SLIDE 9

Proposals to SPC

D i ti h lt hi d i ti ith ll t ld

• Description how results were achieved in cooperation with all actors could

include an outline of the conflicts, mistakes and obstacles encountered

• Elaboration of commonly agreed structure (questionnaire) for written

presentation (including questions on context and process) should be next presentation (including questions on context and process) should be next step

• SPC will be consulted prior to adaption work programme PROGRESS
• SPC hold in depth examination of MS strategies with thematic focus (i e
• SPC hold in-depth examination of MS strategies with thematic focus (i.e.

fight against child poverty)

• Greater role of SPC in choosing policy priorities and for MS follow-up
• Stronger analytical framework focus more on in depth analysis of complex
• Stronger analytical framework focus more on in-depth analysis of complex

connections & explanations of good/bad results & incorporation of policy debates should be promoted

• Debate in SPC on main findings in PR (drafted by host MS in
• Debate in SPC on main findings in PR (drafted by host MS in

close cooperation with other participants and COM), also with experts invited

• Annual review of PR – possibly via evaluation of how useful

participants found each PR P l t SPC liti l di i i lt PR

• Proposals to SPC: political discussion on main results PR,

main conclusions of PR and lessons learned about transferability of measures will be summarized by contractor y y in annual results report

Answers: Better link learning on EU level to national Answers: Better link learning on EU level to national level

• Exchange of good practice on OMC implementation

structures: considered useful by MS (national application of knowledge, national coordination process, institutional g , p , arrangements could be used to enhance national structures on learning.

• Dissemination of outcomes is essential
• Dissemination of outcomes is essential
• Participation of more stakeholders seen as way to improve

„ownership“, while some MS want more involvement & d i ibili h d greater transparency and visibility, others do not support stronger involvement of more stakeholders at this time.

• Support: idea to exchange personnel under PROGRESS

pp g p Proposals to SPC:

• OMC needs more & better structured „learning networks“.

Monitoring & evaluation arrangements of policy implementation of MS systematically addressed in experts’ implementation of MS systematically addressed in experts’ documents prepared for PR

• Exchange of personnel under PROGRESS will be tested
• Exchange of personnel under PROGRESS will be tested

Learning Networks“: i e more coordination between EMCO „Learning Networks : i.e. more coordination between EMCO, SPC, EPC EU-level & national.) Report EMCO/SPC Active Ageing“ good example of joint Report EMCO/SPC „Active Ageing good example of joint work – presents policies 27 MS

SLIDE 10

Conclusions: The Improvement of Mutual Learning Conclusions: The Improvement of Mutual Learning

• 1. More focused work within EMCO/SPC, stronger analytical

framework

• 2. Context-based presentations/debates including outline of

conflicts, obstacles (questionnaire for written presentation i l d ti t t d ) includes questions on context and process)

• 3. Creation of EU & National “learning networks” and

exchange of 27 MS on “how MS/ministries learn” exchange of 27 MS on how MS/ministries learn .

• 4. A better structured follow up of the results, political debates

in EMCO/SPC on results in EMCO/SPC on results

• 4. General Conclusion

Contribution of the OMC to the transformation of national lf d l t i welfare and employment regimes 1. Strengthening of new policies within national discourse arenas: flexicurity active ageing employability active labour market flexicurity, active ageing, employability, active labour market policies and gender mainstreaming 2. Strengthening of „new“ interests, actors and organizations: Mainly in the field of social inclusion 3. Transformation of organizational rules: New patterns of administration and polic making administration and policy-making 4. More analytical reflection and evaluation of national policies ⇒ Contribution to the modernisation of the institutionally strongly ⇒ Contribution to the modernisation of the institutionally strongly embedded European market economies